CLAUDIUS ATKINSON, Appellant. v. *ATTORNEY GENERAL OF THE UNITED STATES *(Amended in accordance with Clerk‘s Order dated 3/16/06)
No. 05-1099
UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
(Opinion filed: March 8, 2007)
Before: SMITH, WEIS and ROTH, Circuit Judges
PRECEDENTIAL. On Appeal from the United States District Court for the Eastern District of Pennsylvania (District Court No. 01-cv-05462). District Judge: Honorable Lawrence F. Stengel. Argued on July 13, 2006
Morley, Surin & Griffin, P. C.
325 Chestnut Street
Suite 1305-P
Philadelphia, PA 19106
Counsel for Appellant
United States Attorney
Robert A. Zauzmer, Esquire
Assistant United States Attorney
Susan R. Becker, Esquire (ARGUED)
Assistant United States Attorney
Chief of Appeals
Paul Mansfield, Esquire
Assistant United States Attorney
Virginia A. Gibson, Esquire
Assistant United States Attorney
Chief, Civil Division
615 Chestnut Street
Suite 12350
Philadelphia, PA 19106
Counsels for Appellee
O P I N I O N
ROTH, Circuit Judge
If the Supreme Court has determined that the repeal of a law has an impermissible retroactive effect on a particular group, does that determination render the law impermissibly retroactive in its application to other groups affected by the repeal? That is the question before us in this appeal.
I. Factual Background and Procedural History
Claudius Atkinson is a citizen of Jamaica who entered the United States as a non-immigrant visitor in January 1983. He adjusted his status to that of lawful permanent resident two years later on January 25, 1985. On December 16, 1991, following a jury trial in the Court of Common Pleas for Philadelphia County, Atkinson was convicted of criminal conspiracy and possession with intent to distribute a controlled substance.
Atkinson finished serving his sentence and, according to the record, lived an uneventful existence with his family in Philadelphia until June 2, 1997, when he received a Notice to Appear, initiating removal proceedings, from the the Immigration and Naturalization Service (INS).1 According to the Notice, Atkinson was removable from the United States pursuant to sections 237(a)(2)(B)(i) and 237(a)(2)(A)(iii) of the Immigration and Nationality Act (INA) because he was an alien convicted of a controlled substance offense and because he was an alien convicted of an aggravated felony.
In March 1998, an Immigration Judge (IJ) held that Atkinson was removable and ineligible to apply for a waiver of deportation under former
Atkinson appealed the decision to the Board of Immigration Appeals (BIA), which, on June 25, 2001, affirmed the IJ‘s decision without a written opinion. Less than one month later, Atkinson filed a motion to reconsider with the BIA, based on the Supreme Court‘s decision in INS v. St. Cyr, 533 U.S. 289 (2001). The Court held in St. Cyr that the provisions of AEDPA and IIRIRA, eliminating the possibility of discretionary relief under former
While Atkinson‘s motion for reconsideration was pending, he was detained by the INS on October 18, 2001. On October 29, Atkinson filed a petition for a writ of habeas corpus and a stay of removal. The stay of removal was granted, and, on the same day, Atkinson was released from custody pending the resolution of his habeas petition. On July 12, 2002, the BIA issued a short opinion denying Atkinson‘s motion for reconsideration on the ground that St. Cyr applied only to aliens who had entered into plea agreements and not to aliens who, like Atkinson, had been tried and found guilty.
The District Court referred Atkinson‘s petition to a Magistrate Judge who, on April 29, 2004, issued a Report and Recommendation, advising the District Court to grant the habeas petition. The Magistrate Judge reasoned that, with respect to the retroactive elimination of
II. Jurisdiction and Standard of Review
Atkinson‘s petition for a writ of habeas corpus was denied on December 20, 2004. Subsequently, Congress passed the
This petition for review presents us with a question of law: the BIA‘s legal conclusion that Atkinson was ineligible to apply for relief under former
III. Discussion
A. Statutory Framework
Because the statutory schema in place prior to AEDPA and IIRIRA bears on
Section 212 of the INA excluded from the United States several classes of aliens, including aliens convicted of offenses involving moral turpitude or illegal trafficking in drugs. However, the Attorney General was given discretion to admit otherwise excludable aliens.4 Although
The first significant change in
B. Retroactivity Analysis
We begin our retroactivity analysis with the Supreme Court‘s decisions in Landgraf v. USI Film Prods., 511 U.S. 244 (1994), which sets out the procedure for assessing whether a civil statute should apply retroactively. The first question is whether Congress has expressly provided that the statute should be retroactive. Landgraf, 511 U.S. at 280. If the answer is yes, our inquiry is over. Mathews v. Kidder, Peabody & Co., 161 F.3d 156, 160 (3d Cir. 1998). If the statute lacks such an express statement, we ask whether the normal rules of statutory construction unequivocally remove the possibility of retroactivity.6 Mathews, 161 F.3d at 160. If Congress did not expressly provide for retroactivity and if a court applying normal rules of statutory construction would not find an intent to apply the statute only prospectively, then we must determine whether applying the statute to events that antedated its enactment would have a retroactive effect. Id. at 160-61. If we find a retroactive effect, “we employ the strong presumption” against applying such a statute retroactively. Id. at 161.
The retroactivity of the repeal of
The Court did not clarify whether it understood reliance by the person affected to be the condition of finding impermissible retroactivity or merely the factor, in the context of that case before the Court, that demonstrated an impermissible retroactive effect. Nor did the Court consider whether, beyond the reliance factor, there were other indicia that
Such a reading of St. Cyr, however, runs contrary to our understanding of prior Supreme Court law. As we noted above, Landgraf teaches that, in determining if a statute applies retroactively, a court must begin with the statute. If the statute is ambiguous as to its temporal reach, the question is whether it attaches new legal consequences to past events. 511 U.S. at 282-84. If the court determines that the statute has retroactive effect because of such consequences, that determination is applied across the board.
The Court has never held that reliance on the prior law is an element required to make the determination that a statute may be applied retroactively. See Ponnapula, 373 F.3d at 489 (noting that “the Supreme Court has never required actual reliance in any case in the Landgraf line.“). In Landgraf, for instance, the plaintiff, Barbara Landgraf accused her employer of violating
In determining that the amendment did not apply to pending cases, the Court did not base its decision on the specific conduct of Landgraf‘s employer or on any reliance that either Landgraf or her employer may have had on the state of the law when discriminatory conduct occurred. Instead, the Court made a general analysis of the impact of the amendment, finding retroactivity improper because the amendment instituted a legal change that attached a new legal burden to the proscribed conduct. Id. at 282-84; see also Ponnapula, 373 F.3d at 491. Since the Court found the impermissible impact, the amendment has been applied prospectively by the courts of appeals without the need for any reexamination of the basis for denying retroactivity — except a passing citation to Landgraf. See, e.g., Jonasson v. Lutheran Child & Family Services, 115 F.3d 436, 438 fn. 1, (7th Cir. 1997).
Similarly, in Hughes Aircraft Co. v. Schumer, 520 U.S. 939 (1997), the False Claims Act (FCA) had been amended in 1986 to partially remove the bar to suits based on information which was already in the government‘s possession. The former Division Contracts Manager for Hughes’ B-2 Division brought an action in 1989 based on alleged mischarges made by Hughes against Northrup, and ultimately against the government. Hughes moved to dismiss, contending that the 1986 amendment was not retroactive and that the action against it was precluded by the pre-1986 FCA because the information upon which the action was based was already in the possession of the government. The District Court denied the motion. Hughes then moved for summary judgment on the merits. The District Court granted this motion and the plaintiff appealed. Hughes cross-appealed the denial of its motion to dismiss. The Ninth
The Supreme Court granted certiorari to consider, among other issues, whether the 1986 amendment was applicable to pre-1986 conduct. The Court held that the 1986 amendment should not have been applied retroactively. Id. at 945. In doing so the Court concluded that by eliminating a defense to an FCA action, the 1986 amendment attached a new disability to transactions already past. Id. at 948. There is, however, no consideration in Hughes of whether Hughes Aircraft, in particular, or any defendant, in general, in an FCA action might have relied on the former law in conducting business with the government. See Ponnapula, 373 F.3d at 491; Olatunji v. Ashcroft, 387 F.3d 383, 391 (4th Cir. 2004). It was the new legal burden imposed on events past, rather than the reliance on the former law by the person affected, which was the basis for holding that the 1986 amendment would not be applied retroactively.
Again, in Hadix, the question of retroactivity was the issue. Here, the Prison Litigation Reform Act of 1995 (PLRA), 110 Stat. 1321-72,
The Supreme Court determined that the limitation on fees would apply to post-judgment monitoring performed after the effective date of the PLRA but not to services performed prior to that date. Id. at 347. In coming to this conclusion, the Court noted that the attorneys had worked in reasonable reliance on the fee schedule and that, before the effective date of the PLRA, they reasonably expected to receive compensation
In Hadix, this reliance on a set fee was the expectation which convinced the Court that a new legal burden had been imposed on past events. Nevertheless, reliance on pre-amendment law has not been interpreted by our sister courts of appeals as an element in determining across the board that the PLRA amendment is not retroactive. See Cody v. Gomez, 304 F.3d 767, 776-77 (8th Cir. 2002) (holding that in an action to determine the propriety of awarding fees for monitoring [but not the amount of the fee], the PLRA did not apply retrospectively to fee requests for services performed prior to its effective date, citing Hadix); Madrid v. Gomez, 190 F.3d 990, 994-95 (9th Cir. 1999) (holding that where fees for monitoring were awarded by motion after services were performed, not by a pre-fixed schedule as in Hadix, the PLRA did not apply retroactively, citing Hadix).
Thus, we see that the “reliance” factor is an element to consider in determining whether the enactment of a new law has created a “new disability.” Nevertheless, in Landgraf, Hughes, and Hadix, whether the party before the court actually relied on the prior state of the law is not the conclusive factor in determining whether the amendment as a whole is to be applied retroactively or prospectively. Impermissible retroactivity, as defined in Landgraf, does not require that those affected by the change in law have relied on the prior state of the law. Id.
We, therefore, turn to the situation of aliens who, like Atkinson, had not been offered pleas and who had been convicted of aggravated felonies following a jury trial at a time when that conviction would not have rendered them ineligible for
Atkinson‘s case presents a straightforward application of the retroactive effect test. IIRIRA has plainly attached new legal consequences to Atkinson‘s conviction. See Olatunji, 387 F.3d at 396. Prior to IIRIRA‘s enactment, Atkinson remained free to apply for a waiver under
We emphasize that the important “event” to which IIRIRA attached a new legal consequence was the conviction. The fact that Atkinson was not offered a plea and did not engage
A significant characteristic of the “event” here is that it occurred in the past and cannot be changed. That fact distinguishes Atkinson‘s situation from that of an alien felon who has returned to the country illegally. In Fernandez-Vargas, 126 S. Ct. 2422 (2006), the Supreme Court held that IIRIRA‘s provision for reinstatement of removal orders against aliens illegally reentering the United States could be applied retroactively to aliens who reentered prior to IIRIRA‘s enactment. Id. The Court found that applying IIRIRA to such aliens did not attach new legal consequences to past events because “it is the conduct of remaining in the country after entry that is the predicate action; the statute applies to stop an indefinitely continuing violation that the alien himself could end at any time by voluntarily leaving the country.” Id. The Court specifically distinguished the situation in St. Cyr because in that case the alien‘s plea and agreement for a quid pro quo were entirely in the past, “and there was no question of undoing them.” Id. at 2432. Here, Atkinson‘s trial and conviction are entirely in the past, and there is no possibility of undoing them. See also St. Cyr v. INS, 229 F.3d 406, 418 (2d Cir. 2000) (“it is the conviction, not the underlying criminal act, that triggers the disqualification from § 212(c) relief.“) (internal citations and quotations omitted); Thom v. Ashcroft, 369 F.3d 158, 168 (2d Cir. 2004) (Underhill, District Judge, dissenting) (noting that the conviction was the relevant past event because it was the trigger for whether IIRIRA attached new legal consequences); contra Chambers v. Reno, 307 F.3d 284, 293 (4th Cir. 2002) (stating that the relevant past conduct was the alien‘s decision to go to
For the above reasons, we conclude that reliance is but one consideration in assessing whether a statute attaches new legal consequences to past events. See Landgraf, 511 U.S. at 270. In applying its commonsense, functional judgment as to whether a statute attaches new legal consequences, a court can certainly be guided by considerations of fair notice, reasonable reliance, and settled expectations. Hadix, 527 U.S. at 357-58. Nowhere in the Supreme Court‘s jurisprudence, however, has reliance (or any other guidepost) become the sine qua non of the retroactive effects inquiry. Olatunji, 393-94. Moreover, nothing in the Landgraf line of cases supports the theory that the limits of permissible retroactivity are different for one group — those who accept (or consider) a plea agreement — than they are for another — those who exercise their constitutional right to a trial.
It is for this reason that we are not troubled by our dictum in Ponnapula casting doubt on whether an alien in Atkinson‘s situation could demonstrate a reasonable reliance interest necessary to demonstrate a retroactive effect. 373 F.3d at 494. Specifically, we stated that “aliens [who went to trial because they were not offered a plea agreement] had no opportunity to alter their course in the criminal justice system in reliance on the availability of § 212(c) relief, [and] we highly doubt (though do not explicitly hold, for the issue is not before us) that such aliens have a reliance interest that renders IIRIRA‘s repeal of former § 212(c) impermissibly retroactive as to them.” Id. We agree that aliens who were not offered plea bargains did not rely on
IV. Conclusion
We hold that the BIA cannot preclude Atkinson from applying for a discretionary waiver under former
